A fast growing, trustworthy association for online marketers are looking for a Compliance and MLRO officer who will be responsible for ensuring company’s compliance with all applicable FCA laws, regulations and company policies and meeting the expectations of regulators for e-money issuing. The Electronic Payments Association (EPA) is a business membership organisation, established in 2010, and registered in the United Kingdom in 201...
In order to apply for this position candidates MUST have COMPLIANCE EXPERIENCE COUPLED WITH LEVEL 4 DIPLOMA. Please note as we receive a high volume of applications we are only able to respond to those candidates who are shortlisted. This role would be suited to any of the following; Compliance Officer Compliance Supervisor Compliance Manager T...
Purpose of the role: To provide a proactive compliance consultancy service to directly authorised clients and institutions, presenting compliant solutions in general compliance areas. To deliver professional and valued support services and provide effective customer relationship activity to influence positive customer sentiment Responsibilities: <...
Mortgage Complaints Specialists required for a mortgage servicing in London. Responding to customer complaints, providing analysis and management information and ensuring service and regulatory standards are maintained. Responsibilities for the role of Mortgage Complaints Specialist Handling complaints in accordance with company policy and regulatory guidelines Provide MI for the monthly com...
A highly successful asset management organisation based in London are looking for a Legal and Compliance officer to join their team. Successful candidates will receive a salary of up to £50,000 plus a generous benefits package. This Legal and Compliance role will see you be responsible for monitoring compliance with the Financial Conduct Authority (FCA) where you will specialise in UCITS. You will also be required to assis...
An opportunity has been created due to growth, for an experienced Training and Competence Manager to join the London based team of this international financial services provider which covers investment and wealth management. As a T&C Manager, you will sit within a certain segment of the business which covers Employee Benefits Consulting for larger corporates and Wealth Advisory for SME clients. Respon...
Our client is seeking an experienced complaint handler who will be accountable for customer complaints relating to pension and structured and investment products. You will ensure that complaints are managed and progressed to resolution in line with regulatory requirements. The role holder will be responsible for: Ensuring that complaints are investigated fully and dealt with in accordance with FSA regul...
OneTwoTrade are currently recruiting for a Senior Compliance Officer to oversee and manage the compliance issues within the organisation. Responsibility; Clients reporting and verification Clients adheres to anti money laundering regulation Carrying out sanction checks Updating and creating compliance documents for both clients and employees Constructing and managing deploy...
A boutique compliance consultancy based in central London are looking to grow their established back office support team. The firm specialise in providing consultancy services to their clients to assist with the pressure of regulatory legislation and change within the financial services industry. With multiple contracts and projects secured a need has arisen to expand their support function and the following vacancy is available now ...
A boutique compliance consultancy based in central London are looking to grow their established back office support team. The firm specialise in providing consultancy services to their clients to assist with the pressure of regulatory legislation and change within the financial services industry. With multiple contracts and projects secured a need has arisen to expand their support function and the following vacancy is available now: <p...
A well established Financial Services firm have an exciting opportunity for a Compliance Advisor to join the Investment Management side their London based team. The Role Working closely with the European Compliance Officer , this role will be responsible for providing Risk & Compliance support to the European Investments business. The main aspects of the role will include providing provide Compliance advise, monitoring, sup...
A rapidly expanding global asset management firm are looking for an Associate Compliance Officer to join their team based in luxurious offices in the City of London. Successful candidates will be rewarded with unrivaled opportunities for progression and a salary up to £40,000 plus benefits. The ideal candidate will speak one of French, German, Spanish or Italian fluently and will have Compliance experience covering monitor...
A rapidly expanding global asset management firm are looking for a Compliance Officer to join their team based in luxurious offices in the City of London. Successful candidates will be rewarded with unrivaled opportunities for progression and a salary up to £65,000 plus benefits. The ideal candidate will speak one of French, German, Spanish or Italian fluently and will have Compliance experience covering financial promotio...
17 jobs matching this search were posted in the last week
Quality Assurance Specialist required for an expanding Mortgage and Loan Servicing business based in London to deal with the management and administration of the Quality Assurance processes in the business. You will lead on specific projects to co-ordinate activity and resources and will design, develop and implement Quality Assurance frameworks Responsibilities for the role of Quality Assurance Specialist Comple...
This is the investment management division of recongnised leader in the financial services sector with nearly £400 billion under management. Due to a focus on developing and expanding their product range they are now seeking a compliance manager with knowledge of Unit Linked Products or life fund structures. The Role You will be responsible for ensuring that the highest standards of compliance within the business areas ar...
Are you looking to move your career to an international level, and gain global exposure in beautiful Bermuda? On behalf of our Client, we are keen to recruit an experienced Senior Officer to help direct and support their Policy team. The ideal candidate will assist with meeting the Team objectives, and will be responsible for providing a range of technical policy support activities - including: Researching complex regula...
Organisation Description Our client, a multinational Investment Bank is currently in search of a Compliance and Conduct Risk Quality Assurance Manager. Job Description The successful candidate will be responsible for and have experience in: - Developing the risk based Compliance and Conduct Risk quality assurance plans. - Have a strong working knowledge of F...
Compliance Officer / Regulatory Officer (AML / FX / Trading) The award-winning LMAX Exchange is the revolutionary venue for FX trading. LMAX Exchange offers brokers, proprietary trading firms, funds and professional traders direct access to live streaming institutional prices from top tier banks and financial institutions. LMAX Exchange was launched in October 2010, becoming the first company in Europe to launch FX trading on an MTF...
Our client is an award winning Privatly owned Brokerage. Specialising within Investment Management, Equity Sales, FX and CFD's. The office is a very busy and lively trading floor. This is a great oppertunity for someone to join an award winning and growing company and be a key memeber to the team. Responsibilities: The main responsibility for this role is to support the Head of Compliance. This is ...
My client a fast pace stockbrokers based in the city is looking to recruit a compliance assistant for their London office. Working closely with the Head of Group compliance this wide ranging role encompass all compliance function with the exception of client monies; Perform monitoring work in accordance with the company’s monitoring programme to demonstrate that business is being conducted in compliance with regulatory requirements<...
Risk Officer required for a growing investment business. Working closely with colleagues in the Risk, Compliance, Operations and Internal Audit to assist with the identification, classification, measurement and monitoring of operational and business related risks. This job will involve being the day-to-day contact point for risk management as well as assisting in the formulation, planning and implementation of an effective risk strat...
Our Client A boutique Regulatory Consultancy with a long standing track record of success within the Financial Services industry are presently embarking on some very ambitious expansion plans to capitalise on their outstanding reputation in the market place. They are presently looking for a very experienced Regulatory professional who has an extensive background within the Fund Management and/or Private Equity space to oversee...
Our Client An established Retail Financial Services business are presently looking to recruit an experienced Regulatory specialist to work in a senior capacity within their existing team outside of London. The Role The primary purpose is to support the Head of Compliance in the ongoing management and monitoring of risk and your main duties will include: Providing advice, gu...
Our Client A fantastic opportunity has come about for a Regulatory specialist within a long established & highly regarded Professional Services business. The Role As a key member of the Regulatory team, you will be responsible for: Advising clients on the impact of the changing regulatory landscapes Delivering Section 166 reviews and reporting to the FSA as part...
Our Client A reputable Investment/Wealth Manager are presently looking to recruit a Senior Risk and Compliance Monitoring specialist. The Role Supporting the Head of Risk and Compliance in the ongoing management and monitoring of risk you will be responsible for - Working with business unit heads and managers to assess and identify the potential risks that may damage its re...
